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Sharon Tang

Cetera Investment Services LLC

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About Sharon Tang

Sharon Tang is a financial professional with over 18 years of experience in the financial services industry. She is currently registered with Cetera Investment Services LLC. Previously, Sharon Tang was registered with LPL Financial LLC, UVEST FINANCIAL SERVICES GROUP, INC., LPL FINANCIAL CORPORATION, UCB INVESTMENT SERVICES, INC., and IFMG SECURITIES, INC. Sharon Tang is licensed to conduct securities business in California.

Firm Information

Sharon Tang is currently registered with Cetera Investment Services LLC. Cetera Investment Services LLC is a Limited Liability Company formed on November 30, 2012, and approved to operate in 53 states and the District of Columbia. The firm has 1 approved SEC registration and 53 approved state registrations. Cetera Investment Services LLC has a history of regulatory events (11 reported) and arbitration disclosures (3 reported).

Not reported

Assets Under Management

Not reported

Total Clients

372

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Sharon Tang’s Registration & Firm History

CA

03/13/2013 - Present

Cetera Investment Services LLC (ROWLAND HEIGHTS CA)

CA

10/11/2011 - 02/06/2013

LPL FINANCIAL LLC (ROWLAND HEIGHTS CA)

CA

02/17/2010 - 10/11/2011

UVEST FINANCIAL SERVICES GROUP, INC. (ROWLAND HEIGHTS CA)

CA

02/17/2009 - 02/18/2010

LPL FINANCIAL CORPORATION (ROWLAND HEIGHTS CA)

CA

05/10/2006 - 03/06/2009

UCB INVESTMENT SERVICES, INC. (ROWLAND HEIGHTS CA)

NC

07/15/2005 - 05/02/2006

UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)

NY

04/26/2004 - 07/26/2005

IFMG SECURITIES, INC. (PURCHASE NY)

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Licenses & Designations

BC

Issued 05/18/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/22/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sharon Tang.
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